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ASQ MALPRACTICE & MALADMINISTRATION POLICY AND PROCEDURE

The purpose of this Policy and Procedure is to provides a full context of what the organisation considers as a malpractice or maladministration and to set out how allegations of malpractice in relation to all qualifications and trainings offered by ASQ are dealt with.

The scope of the policy is to provide:

  • a definition of malpractice.
  • examples of learners and centre malpractice and maladministration
  • possible sanctions that may be imposed in cases of malpractice.

ASQ Training and Assessment treats all cases of suspected malpractice and/or maladministration very seriously and will investigate all suspected and reported incidents of possible malpractice.

INTRODUCTION

For the purpose of this document ‘malpractice’ is defined as any act, or failure to act, that threatens or compromises the integrity of the assessment process or the validity of ASQ/our awarding body’s qualifications and their certification. This includes:

  • maladministration and the failure to maintain appropriate records or systems.
  • the deliberate falsification of records or documents for any reason connected to the award of qualifications.
  • acts of plagiarism including the use of artificial intelligence (AI) by candidates for knowledge augmentation or other purposes during assessments.
  • other academic misconduct and/or actions that compromise the reputation or authority of our awarding bodies, our centres, assessors, employees, agents and partners

ASQ will report all relevant cases of suspected malpractice to our awarding bodies, accepting that in certain circumstances our awarding bodies may take action of their own, including imposition of sanctions

MALPRACTICE BY LEARNERS

Some examples of learner malpractice are described below. These examples are not exhaustive and all incidents of suspected malpractice, whether or not described below, will be fully investigated, where there are sufficient grounds to do so.

  1. Obtaining examination or assessment material without authorization.
  2. Arranging for an individual other than the learner to sit an examination, training or assessment.
  3. Submitting an assignment or other relevant work not undertaken or completed by the learner.
  4. The use of Artificial Intelligence (AI) or AI-based software, machine learning algorithms, automated systems, or any other technological means to complete assignments, assessments, or examinations on behalf of learners and candidates.
  5. Impersonating another learner to sit or carry out an assessment or to submit an assignment on their behalf.
  6. Collaborating with another learner or individual, by any means, to complete a coursework assignment or assessment, unless it has been clearly stated that such collaboration is permitted.
  7. The practice of taking someone else's work or ideas and passing them off as one's own and/or any act considered as plagiarism.
  8. Damaging another learner’s work
  9. Inclusion of inappropriate or offensive material in coursework assignments or assessment scripts or portfolio
  10. Failure to comply with ASQ or course regulator’s examination, training or assessment regulations i.e. the requirement of a clean desk for examination etc
  11. Disruptive behavior or unacceptable conduct, including the use of offensive language, at centre or assessment venue (including threatening, aggressive or offensive language or behavior)
  12. Producing, altering, using or allowing the use of forged or falsified documentation, including but not limited to:
    1. personal identification.
    2. supporting evidence provided for applications and assessments; and
    3. assessment evidence including photos and documents.
    4. results documentation, including certificates.
  13. Presenting a falsified competence certificate or similar as proof of competence or falsely obtaining, by any means, a competence certificate.
  14. Falsely obtaining, by any means, answers to training and/or assessment criteria questions.
  15. Misrepresentation or plagiarism.
  16. Fraudulent claims for special consideration i.e. for prior learning consideration.
  17. Possession of any materials not permitted in the examination room or assessment vicinity, regardless of whether or not they are relevant to the assessment, or whether or not the student refers to them during the assessment process, for example notes, blank paper, electronic devices including mobile phones, personal organisers, books, dictionaries / calculators (when prohibited)
  18. Communicating in any form, for example verbally or electronically, with other learners in the assessment or training room when it is prohibited
  19. Copying the work of another learner or knowingly allowing another learner to copy from their own work.
  20. Failure to comply with instructions given by the assessment invigilator, trainer or assessor, i.e. working beyond the allocated time; refusing to hand in assessment script / paper when requested; not adhering to warnings relating to conduct during the assessment.
MALPRACTICE BY ASQ EMPLOYEES AND STAKEHOLDERS

Examples of malpractice by assessors, trainers, teachers, tutors, verifiers and other officers including staff and agents are listed below. These examples are not exhaustive and all incidents of suspected malpractice, whether or not described below, will be fully investigated, where there are sufficient grounds to do so.

  1. Failure to adhere to the relevant regulations and procedures, including those relating to centre approval, security undertaking and monitoring requirements as set out by ASQ and the awarding bodies
  2. Knowingly allowing an individual to impersonate a learner
  3. Allowing a learner to copy another learner’s assignment/assessment work or allowing a learner to let their own work be copied.
  4. Allowing learners to work collaboratively during an assignment assessment, unless specified in the assignment or assessment brief.
  5. Completing an assessed assignment for a learner or providing them with assistance beyond that ‘normally’ expected
  6. Damaging a learner’s work.
  7. Disruptive behavior or unacceptable conduct, including the use of offensive language (including aggressive or offensive language or behavior).
  8. Allowing disruptive behavior or unacceptable conduct at the Centre to go unchallenged, for example, aggressive or offensive language or behavior.
  9. Divulging any information relating to learner performance and / or results to anyone other than the learner or persons authorized by ASQ.
  10. Producing, using or allowing the use of forged or falsified documentation, including but not limited to:
    1. personal identification.
    2. supporting evidence provided for applications and assessments; and
    3. results documentation, including certificates.
  11. Falsely obtaining by any means a competence certificate.
  12. Failing to report a suspected case of learner malpractice, including plagiarism, to ASQ.
  13. Moving the time or date of a fixed examination without prior authorization.
  14. Failure to keep examination question papers, examination scripts or other assessment materials secure, before during or after an examination.
  15. Allowing a learner to possess and / or use material or electronic devices that are not permitted in the examination or assessment room.
  16. Allowing learners to communicate by any means during an examination or assessment in breach of regulations.
  17. Allowing a learner to work beyond the allotted examination or assessment time
  18. Leaving learners unsupervised during an examination or assessment.
  19. Assisting or prompting candidates with the production of answers.
POSSIBLE MALPRACTICE SANCTIONS

Following an investigation, if a case of malpractice is upheld, ASQ Training and Assessments may impose sanctions or other penalties on the individual(s) concerned. Where relevant we will report the matter to the relevant awarding body, and the awarding body may impose one or more sanctions upon the individual(s) concerned. Any sanctions imposed will reflect the seriousness of the malpractice that has occurred.

Listed below are examples of sanctions that may be applied to a learner, an assessor, a trainer, a teacher, a tutor and other officers including staff and agents who has had a case of malpractice upheld against them. Please note that:

  1. this list is not exhaustive and other sanctions may be applied on a case-by-case basis
  2. where the malpractice affects examination or assessment performance, the awarding body may impose sanctions of its own.

Possible Centre sanctions that may be applied to students by ASQ

  1. A written warning about future conduct
  2. Notification to an employer, regulator or the police
  3. Removal from the course or termination of assessment

Possible sanctions that may be applied to assessors, trainers, teachers, tutors, verifiers and other officers including staff and agents.

  1. A written warning about future conduct.
  2. Imposition of special conditions for the future involvement of the individual(s) in the conduct, teaching, supervision, assessment or administration of learners and/or examinations and assessments.
  3. Informing any other organization known to employ the individual in relation to training and assessments of the outcome of the case.
  4. ASQ Training and Assessments may carry out unannounced monitoring of the working practices of the individual(s) concerned.
  5. Dismissal
PROCEDURE
REPORTING A SUSPECTED CASE OF MALPRACTICE
  1. This process applies to learners, assessors, trainers, teachers, tutors, verifiers and other officers including staff and agents, and to any reporting of malpractice by a third party or individual who wishes to remain anonymous.
  2. Any case of suspected malpractice should be reported in the first instance to the ASQ Training and Assessments Centre Coordinator, Samson Adeosun
  3. A written report should then be sent to the ASQ Training and Assessments Centre Coordinator, clearly identifying the factual information, including statements from other individuals involved and / or affected, any evidence obtained, and the actions that have been taken in relation to the incident.
  4. Suspected malpractice must be reported as soon as possible to the ASQ Training and Assessments Centre Coordinator, and at the latest within two working days from its discovery. Where the suspected malpractice has taken place in an examination or assessment, the incident must be reported urgently and the appropriate steps taken as specified by ASQ or the relevant awarding body
  5. Wherever possible, and provided other learners are not disrupted by doing so, a learner suspected of malpractice should be warned immediately that their actions may constitute malpractice, and that a report will be made to the centre.
  6. In cases of suspected malpractice by ASQ’s assessors, trainers, tutors, verifiers, invigilators and other officers, and any reporting of malpractice by a third party or individual who wishes to remain anonymous, the report made to the ASQ Training and Assessments Centre Coordinator should include as much information as possible, including the following:
    1. the date time and place the alleged malpractice took place, if known.
    2. the name of the assessor, trainer, tutor, verifier, invigilator or other person(s) involved.
    3. a description of the suspected malpractice; and
    4. any available supporting evidence.
  7. In cases of suspected malpractice reported by a third party, or an individual who wishes to remain anonymous, ASQ Training and Assessments will take all reasonable steps to authenticate the reported information and to investigate the alleged malpractice
ADMINISTERING SUSPECTED CASES OF MALPRACTICE
  1. ASQ Training and Assessments will investigate each case of suspected or reported malpractice relating to all qualifications, to ascertain whether malpractice has occurred. The investigation will aim to establish the full facts and circumstances. We will promptly take all reasonable steps to prevent any adverse effect that may arise as a result of the malpractice, or to mitigate any adverse effect, as far as possible, and to correct it to make sure that any action necessary to maintain the integrity of our and our awarding body’s qualifications and reputation is taken.
  2. ASQ Training and Assessments will acknowledge all reports of suspected malpractice within five working days. All of the parties involved in the case will then be contacted within 10 working days of receipt of the report detailing the suspected malpractice. We may also contact other individuals who may be able to provide evidence relevant to the case.
  3. The individual(s) concerned will be informed of the following:
    1. that an investigation is going to take place, and the grounds for that investigation.
    2. details of all the relevant timescales, and dates, where known.
    3. that they have a right to respond by providing a personal written response relating to the suspected malpractice (within 15 working days of the date of that letter).
    4. that, if malpractice is considered proven, sanctions may be imposed either by ASQ Training and Assessments or by the relevant awarding body, reflecting the seriousness of the case.
    5. that, if they are found guilty, they have the right to appeal
    6. that ASQ Training and Assessments has a duty to inform the awarding body and other relevant authorities/regulators, but only after time for the appeal has passed or the appeal process has been completed. This may also include informing the police if the law has been broken and to comply with any other appropriate legislation.
  4. Where more than one individual is contacted regarding a case of suspected malpractice, for example in a case involving suspected collusion, we will contact each individual separately, and will not reveal personal data to any third party unless necessary for the purpose of the investigation.
  5. The individual has a right to appeal against a malpractice outcome if they believe that the policy or procedure has not been followed properly or has been implemented to their detriment.
  6. Records of all malpractice cases and their outcomes are maintained by ASQ Training and Assessments for a period of at least five years and are subject to regular monitoring and review.